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2001

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Contents:

01-85 Guidance on Compensation and Mixed Capacity Trading

01-84 SEC Approves NASD Rule Proposal Requiring Member Clearing And Self-Clearing Firms To Report Prescribed Data

01-83 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of October 21, 2001

01-82 Trade Date — Settlement Date For 2002

01-81 NASD Provides Interpretive Guidance On The Conduct Of Business Abroad

01-80 Amendments To Broker/Dealer Books And Records Rules Under The Securities Exchange Act Of 1934

01-79 NASD Reminds Members Of Their Responsibilities Regarding Private Securities Transactions Involving Notes And Other Securities And Outside Business Activities

01-78 NASD Regulation Office Of General Counsel Announces The Publication Of The Disciplinary Update

For Your Information (December)

01-77 Trade Date — Settlement Date Schedule For Veterans' Day, Thanksgiving, Christmas, And New Year's Day

01-76 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of September 24, 2001

01-75 Broker/Dealer, Investment Adviser, And Agent Renewals For 2002

01-74 Securities Industry/Regulatory Council On Continuing Education Announces Continuing Education Web Site

01-73 Amendment To The Policy For Granting Foreign Deferrals Of The Regulatory Element - New VUE Center In Singapore

01-72 Securities Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory

01-71 Content Outline For New Series 6 Program Regulatory Element (S106) For Investment Representatives

01-70 SEC Approves Increases To Member Surcharges And Process Fees In NASD Arbitration Proceedings, And Other Amendments To Fee-Related Provisions Of The NASD Code of Arbitration Procedure

For Your Information (November)

01-69 Nominees For District Committee And District Nominating Committee

01-68 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of August 21, 2001

01-67 Executive Order Targeting Terrorists

01-66 SEC Approves NASD Rule Proposal Relating to Operations

01-65 NASD Seeks Comment On Proposed Rules And Policies Relating To Expungement Of Information From The Central Registration Depository

01-64 NASD Announces Nominees For Regional Industry Member Vacancies On The National Adjudicatory Council

01-63 SEC Approves New Rule Relating To The Application Of NASD Rules And Interpretive Materials To Exempted Securities

01-62 Columbus Day: Trade Date — Settlement Date Schedule

01-61 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of July 20, 2001

01-60 New Requirements For Electronic Blue Sheets Submissions

01-59 NASD Requests Comment On Proposed Rule Amendments To Address Shelf Offerings Of Securities

01-58 Rules Relating To Bond Mutual Fund Volatility Ratings Extended Two Years

For Your Information (September)

01-57 NASD Announces Nomination Procedures For Regional Industry Member Vacancies On The National Adjudicatory Council

01-56 NASD Notice Of Meeting And Proxy

01-55 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of June 21, 2001

01-54 SEC Approves Proposed Additions To The List Of Rules Appropriate For Disposition As Minor Violations Of Rules And For The Establishment Of Late Fees For Certain Filings And Reports

01-53 Procedures Governing The Review And Approval Of Subordination Agreements Filed With The NASD

01-52 SEC Approves NASD Rule Proposal Relating To Registration Requirements For Limited Principals-Financial And Operations And Limited Principals-Introducing Broker/Dealer Financial And Operations

01-51 SEC Approves NASD Rule Proposal Requiring Registration Of Chief Compliance Officers

01-50 Amendment To The Policy For Granting Foreign Deferrals Of The Regulatory Element

For Your Information (August)

01-49 Labor Day: Trade Date — Settlement Date Schedule

01-48 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of May 21, 2001

01-47 SEC Approves Rule Change Prohibiting Publication Of Quotations Or Indications Of Interest In A Security During A Trading Halt (Note: The effective date for amendments to Rule 3340 has been delayed until October 9, 2001)

01-46 SEC Approves Extension Of Limit Order Protection Principles To Certain OTCBB Securities On A Pilot Basis

01-45 NASD Regulation Requests Comment On Proposed Amendments To Rule 2210, Communications With The Public

01-44 SEC Issues Interpretive Guidance Concerning Exchange Act Rules 11Ac1-5 And 11Ac1-6

For Your Information (July)

01-43 NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections

01-42 Nominees For NASD Board Of Governors

01-41 SEC Approves PORTAL Rule Amendments

01-40 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of April 23, 2001

01-39 SEC Approves Proposed Rule Change Establishing A New Limited Registration Category For Private Securities Offerings; Related Qualification Examination (Series 82) Is Effective

01-38 NASD Regulation Requests Comment On Proposed Amendments To The Taping Rule

01-37 NASD Regulation Extends Deadline For Delivery Of Margin Disclosure Statement To Existing Non-Institutional Customers To January 31, 2002

01-36 NASD Regulation, Inc. Requests Comment On Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer Of Customer Accounts

For Your Information (June)

01-35 NASD Regulation Requests Comment On Steps That Can Be Taken To Streamline NASD Rules

01-34 Memorial Day: Trade Date — Settlement Date Schedule

01-33 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of March 22, 2001

01-32 Series 24, 26, And 62 Modified

01-31 SEC Approves NASD Rule Proposal Requiring Delivery Of Margin Disclosure Statement To Non-Institutional Customers

01-30 Member Obligations To Provide Statistical Information About Order Routing Under Rule 11Ac1-6 Of The Securities Exchange Act Of 1934

01-29 SEC Approves Amendments To Prohibit Terminated Or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers In The NASD Arbitration Forum

01-28 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of February 22, 2001

01-27 NASD Revises Sanction Guidelines

01-26 SEC Approves Proposed Rule Change Relating To Day-Trading Margin Requirements

01-25 SEC Approves Extension of Limit Order Protection Principles to Certain OTCBB Securities on a Pilot Basis

01-24 SEC Approves Proposed Changes To Rule 2330(f)(2) Relating To Performance Fees

01-23 Suitability Rule And Online Communications

01-22 NASD Regulation Reiterates Member Firm Best Execution Obligations And Provides Guidance To Members Concerning Compliance

01-21 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 22, 2001

01-20 Nasdaq Announces Decimalization Rule Changes

01-19 SEC Approves Trade Reporting For PORTAL Securities

01-18 SEC Approves Rules To Require Fixed Income Transaction Reporting And Dissemination

01-17 Web CRD E-Mail Notifications Regarding Regulatory Element Requirements And Notifications Of CE Inactive Registered Persons

For Your Information (March)

01-16 Member Obligations To Provide Statistical Information About Order Executions Under Rule 11Ac1-5 of the Securities Exchange Act of 1934 (The SEC extended by 30 days the compliance date for the first phase-in of securities)

01-15 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 26, 2000

01-14 SEC Approves Revision To Membership And Registration Rule 1120 — Continuing Education Requirements — Permitting In-Firm Delivery

01-13 SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause

01-12 Nasdaq Announces Additional Decimalization Pilot Phase For March 26, 2001

01-11 Relating To Cash And Margin Treatment For Certain Types Of Options Positions

For Your Information (February)

01-10 Trade Date — Settlement Date Schedule

01-09 Fixed Income Pricing System^SM Additions, Changes, And Deletions As Of November 27, 2000

01-08 NASD Adopts Amendments To Customer Account Statement Rule

01-07 Important Reminders About Web CRD Notification Of Regulatory Element Continuing Education Requirements And Inactive Registered Persons

01-06 NASD Regulation Requests Comment On Member Facilitation Of Lending Between Customers

01-05 Nasdaq Announces Additional Decimalization Testing Dates

01-04 SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause

01-03 SEC Approves Early Expiration Of Large And Complex Cases Rule

01-02 2001 Renewal Rosters And Final Renewal Statements

01-01 SEC Approves Proposed Changes To NASD Rule 2860